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NIH eRA Workshop:Grant Application Preparation & Submission
October 2015
electronic Research Administration (eRA)OER, OD, National Institutes of Health
Your Workshop Team
Sheri Cummins Office of Extramural Research (OER) Communications &
Outreach Chief, Grants Information
Jessie Floura Electronic Research Administration (eRA)
Customer Relationship Manager [email protected]
2
Today’s Topics
Submission OptionsPrepare to Apply & RegisterProcess OverviewWalk-through the Submission ProcessDemo & Discussion
Downloadable Forms
ASSIST
Finding Help & Resources
3
More Topics (time permitting)
Grantee and Organization ChangesReference LettersProgram-specific ConsiderationsSubmission PoliciesAdditional Questions & Wrap-up
4
Submission Options
ASSISTSYSTEM-TO -SYSTEM
DOWNLOADABLE FORMS
5
You've got to think about big things while you're doing small things, so that all the small things go in the right direction.
-Alvin Toffler
Electronic Submission…
Required for All competing single and multi-project grant applications
Encouraged for Single-project applications in response to:
Administrative Supplements - Type 3 Change of Organization Status – Type 6 Change of Grantee Organization – Type 7
Not yet available for Merit extensions – Type 4 Multi-project applications in response to:
Administrative Supplements - Type 3 Change of Organization Status – Type 6 Change of Grantee Organization – Type 7
6
Electronic Application Submission Options
7
Downloadable Forms*System-to-System ASSIST* Single-project only
ASSIST
Key features Online data entry Multiple user access Pre-submission verification of application against
many agency and Grants.gov business rules Pre-submission preview of assembled application
image in agency format Tracking application status within single system
Considerations All ASSIST users working on an application must
have eRA Commons accounts
8
ASSIST Support Target Timeline
Available for all multi-project programsSupport expanding to single-project programs in
2015 NIH Guide notices will announce ASSIST availability for
each set of activity codes once in place
9
Timeline: http://grants.nih.gov/grants/ElectronicReceipt/files/Timeline_for_Single-Project_ASSIST_Support.pdf
Grants.gov Downloadable Forms
Key features Offline data entry
Especially good option when Internet connectivity is unreliable No registration required to begin application data entry
Considerations Single-project applications only Requires a Grants.gov compatible version of Adobe Reader Applicants must track the application status in separate
eRA Commons system after submitting to Grants.gov No pre-submission verification of application against
agency business rules Unable to preview assembled application image in agency
format prior to submission Data entry access restricted to one user at a time
10
System-to-System Solutions
Key features Features vary by solution Some integrate with institutional databases and grant
systems Some provide pre-submission verification of
application against agency business rules Some provide pre-submission preview of assembled
application image in agency format
Considerations Consult your institutional officials for preferred
method of submission
11
Your Application will be…
Subject to the same registration requirementsCompleted with the same data itemsRouted through Grants.govValidated against the same NIH business rulesAssembled in a consistent format for review
considerationTracked in eRA Commons
12
…regardless of submission option used.
Prepare to Apply & Register
SOFTWARE NEEDEDREGISTRATIONS
13
Success depends upon previous preparation, and without such
preparation there is sure to be failure.
-Confucius
Obtain Software
Browser Internet Explorer, Mozilla Firefox – fully supported &
tested Many others work fine
Adobe Reader Versions compatible with Grants.gov downloadable forms
http://www.grants.gov/web/grants/support/technical-support/recommended-software.html
PDF conversion program All application attachments must be
converted to PDF format
14
Multiple Organization Registrations Required
Allow a minimum of 6 weeks to complete all registrations!
15
http://grants.nih.gov/grants/ElectronicReceipt/files/registration_handout.pdf
DUNS
A free nine-digit identification number issued by Dun & Bradstreet (D&B) is used to uniquely identify your business/ institution
Dun & Bradstreet Data Universal Numbering System (DUNS) Begin the process at:
http://fedgov.dnb.com/webform
After obtaining your DUNS, you can begin other registrations System for Award Management
(SAM) eRA Commons SBA Company
16
http://fedgov.dnb.com/webformTelephone Number:
866-705-5711
System for Award Management (SAM)
Register your entity (i.e., organization) to do business with the Federal Government
Designate an E-Business Point-of-Contact (E-Biz POC)
SAM registration and E-Biz POC needed for Grants.gov registration
Annual SAM renewal needed to keep Grants.gov credentials active
17
www.sam.gov Telephone Numbers:
US Calls: 866-606-8220International Calls: 334-206-7828
DSN: 866-606-8220
Grants.gov
Federal-wide portal to find and apply for Federal grant funding
Used by all 26 Federal grant-making agencies
Prior to registering in Grants.gov you must obtain a DUNS number and register in SAM
E-Biz POC approves Authorized Organization Representatives (AORs) to submit applications
No registration needed to find opportunities or download forms
18
Telephone Numbers:US Calls: 1-800-518-4726
International Calls: 606-545-5035
eRA Commons
Agency system that allows applicants, grantees and Federal staff to share application/grant information
Used by NIH and a few other HHS divisions
Designate a Signing Official (SO) Registers or affiliates Project
Directors/Principal Investigators (PD/PIs) and other users
NIH 2-week “good faith effort” for eRA Commons registration
19
Support:http://grants.nih.gov/support/index.html
eRA Commons Organization Registration
Organizations must register in eRA Commons
Already registered? Check with your Administrative Office before starting the
process Quick Query: https://
public.era.nih.gov/chl/public/search/commonsRegisteredOrgs.era
New registrations Institution Registration Form:
https://public.era.nih.gov/commons/public/registration/registrationInstructions.jsp
Carefully follow ALL steps including printing/signing/faxing registration page and responding to email verification messages
20
Signing Official (SO)
During Commons registration, an applicant organization designates a Signing Official (SO)
SO has authority to legally bind the organization in grants administration matters
Equivalent to the Authorized Organization Representative (AOR) in Grants.gov
SO is responsible for: maintaining institutional information submitting documents that require signature
authority to act on behalf of the organization managing accounts
21
Account - Tips
Designate more than one Signing Official Certain Commons actions can only be taken by users
with the SO role and you will want a back-up
Administrators should always check to see if a user already has a Commons account before creating a new account with a scientific role Ask the person if they already have an account, or
search within the Commons If a user already has an account with a different
organization, the SO should affiliate the existing account with the user’s new organization
22
Registration - Tips
Don’t combine administrative and scientific roles (e.g., SO and PI) on the same account Other combinations are fine
E.g., PI and Internet Assisted Review (IAR) roles are OK together
A person needing both the PI and SO roles should have two separate accounts - one for scientific roles (e.g., PI and IAR) and another for administrative roles (e.g., SO, AO)
PIs should update their Commons profile prior to submitting E.g., degree info used to determine Early Stage
Investigator eligibilityLog in to accounts prior to deadline to ensure
you have access to the systems
23
Who needs Commons Accounts?
At least 1 Signing Official (suggest having back-ups)
PD/PI(s)Sponsor on a Fellowship application (
NOT-OD-14-129)
Component leads of multi-project applications
Candidates for diversity supplement supportAnyone doing application data entry in
ASSIST
24
SBA Company Registry
All SBIR and STTR applicants are required to register with the Company Registry Database
http://www.sbir.gov/registration
Applies to all HHS SBIR/STTR programs, including NIH, CDC, FDA, and ACF
Attach proof of registration in the Other Attachments section of the Other Project Information form See section IV.2 of your FOA
instructions for details
25
FAQs:http://www.sbir.gov/faq/general
Required Registrations26
Registration Organization Individuals
DUNS All
SAM All E-Biz POC*
Grants.gov All E-Biz POCAuthorized Organization
Representative (AOR)
eRA Commons All Signing Official (SO)*PD/PI
Multi-project Component Leads
Fellowship SponsorDiversity Supplement
CandidateData Entry in ASSIST
SBA Small Business Only
*Designated as part of organization registration
Process Overview
27
Find Enter Data SubmitPlan TrackFinalizeInitiate Build
Team
Find Opportunity
FINDING OPPORTUNITIESPARENT ANNOUNCEMENTS
FUNDING OPPORTUNITY ANNOUNCEMENTSAPPLICATION INSTRUCTIONS
28
Find TrackPlan Initiate Build Team
Enter Data Finalize Submit
Find an Opportunity29
NIH Guide for Grants & ContractsGrants.gov Search
Opportunity
Each system has robust search capabilities.
Terminology Check
Funding Opportunity Announcement (FOA)A publicly available document by which a
Federal Agency makes known its intentions to award discretionary grants or cooperative agreements, usually as a result of competition for funds. Specific types of NIH FOAs include:
Parent Announcement Program Announcement (PA)
PA with special receipt, referral, and/or review considerations (PAR)
PA with set-aside funds (PAS) Request For Application (RFA)
30
Parent FOAsUsed for investigator-initiated research.
Select Parent FOA for your chosen grant program (i.e. R01, R03, R21, etc.).
31
http://grants.nih.gov/
Use Announcement Number to link to FOA
32
Key FOA Sections33
Standard Due Dates
Standard AIDS Due Dates
Check for FOA updates & new policy guidance
FOA-Specific Application Information
Read and follow all announcement instructions
Pay special attention to Section IV. Application and Submission Information Includes FOA-specific submission
instructions Instructions in FOA supersede
instructions in the application guide
34
Application Guide
Read and follow application guide instructions Part I: Instructions for
Preparing and Submitting an Application
Agency-specific instructions are marked with the HHS logo
35
http://grants.nih.gov/grants/funding/424/index.htm
Application Guide - Tips
Be sure to select the appropriate application guide for your opportunity Based on type of grant program
General Application Guide SF424 (R&R) SBIR/STTR Application Guide SF424 (R&R) Individual Fellowship Application Guide SF424
(R&R)Will be rolled into general guide in November
2015
Become familiar with what is included in the application guide, then use it as an electronic resource
36
Supplemental Instructions
Refer to Supplemental Instructions as needed
Part II: Supplemental Instructions for Preparing the Protection of Human Subjects Section of Research Plan
Part III: Policies, Assurances, Definitions and Other Information
37
http://grants.nih.gov/grants/funding/424/index.htm
Plan
MAKE A SUBMISSION PLAN
38
TrackFind Initiate Build Team
Enter Data Finalize SubmitPlan
Make a Submission Plan39
Make a plan before you need one!
Read the FOA and note any special requirements
Agree on application preparation responsibilities
Decide how you will share applications in progress
Discuss your internal review & approval process Set internal deadlines
Define post-submission responsibilities How to deal with errors/warnings Who will verify application in Commons?
Initiate Your Application
INITIATE APPLICATION BASED ON SUBMISSION OPTION
40
TrackFind Plan Initiate Build Team
Enter Data Finalize Submit
FOA “Apply” Buttons
Excerpt from single-project FOA in NIH Guide…41
Build Team42
TrackFind Plan Initiate Enter Data Finalize SubmitBuild
Team
Build Your Team
Signing Official (eRA Commons)Authorized Organization Representative
(Grants.gov)Project Director/Principal Investigators
(PD/PIs)Others?
Administrative Official Sponsor Mentor Collaborator Assistant Someone with review experience
43
Enter Application Data
SF424 (R&R) DATASETTIPS
44
Enter Data TrackFind Plan Initiate Build
Team Finalize Submit
SF424 (R&R) Data Set
NIH uses the SF424 Research & Related (R&R) data set Owned and maintained by Grants.gov
NIH applications include: Forms used federal-wide
Identified as: R&R, Research & Related NIH cannot build agency-specific business rules into
federal-wide forms Forms used only by NIH and our serviced partners
Identified as: PHS for Public Health Services
45
Federal-wide Forms
SF424 (R&R)Project/
Performance Site Location(s)
R&R Other Project Info
R&R Sr/Key Person Profile (Expanded)
R&R BudgetR&R Subaward
Budget Attachment
SF424C – Construction Budget
SBIR/STTR Information
46
Agency-specific Forms
PHS 398 Cover Page Supp.
PHS 398 Modular Budget
PHS 398 Research Plan
PHS 398 ChecklistPHS 398 Career Dev.
Award Supp.PHS Fellowship Supp.
Form
PHS 398 Research Training Program Plan
PHS 398 Training Budget
Training Subaward Budget Attachment Form
Planned Enrollment Report
Cumulative Inclusion Enrollment
47
Our agency-specific forms expired Sept. 2015. We anticipate having updated application forms (FORMS-D) in place for due dates on or after
May 25, 2016. For now, continue to use current forms (FORMS-C).NOT-OD-15-146
Follow Instructions
Follow FOA-specific (e.g., special attachments, specific section headings) and application guide requirements eRA systems will catch many, but not all errors – some
items are checked by staff post-submission FOA-specific requirements are not typically system-
enforced Applications that do not comply with the instructions
may be withdrawn from consideration
Take advantage of posted ‘Additional Format Pages’ http://grants.nih.gov/grants/funding/424/index.htm
48
Include All Required Attachments
Whether or not an attachment is required is often based on how you answer specific application questions
Examples: Human Subjects = Yes, then Human Subjects section of
the PHS 398 Research Plan required Vertebrate Animals = Yes, then Vertebrate Animals
attachment is required More than one entry on the R&R Sr/Key Person Profile
form with the role of “PD/PI,” then the Multiple PD/PI Leadership Plan attachment on the PHS 398 Research Plan form is required
49
Annotated Form Sets50
Annotated form sets are a great resource for helping identify many conditional
requirements.
Annotated form sets:http://grants.nih.gov/grants/ElectronicReceipt/communication.htm
Use PDF Format for All Attachments
Use simple PDF-formatted files Do not use Portfolio or similar features to bundle multiple files
into a single PDF Disable security features such as password protection and
encryption Keep file names to 50 characters or less Use meaningful filenames
Other Project Information form, Other Attachments section Appendices
Do not include headers or footers Section headings as part of the text (e.g., Significance, Innovation,
Approach) are encouraged Follow guidelines for fonts and margins
51
PDF Guidelines: http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm
Adhere to Page Limits52
Find page limits in:• Table of Page Limits
http://grants.nih.gov/grants/forms_page_limits.htm • FOA text
Finalize Application53
TrackFind Plan Initiate Build Team
Enter Data Finalize Submit
Finalizing Your Application
Give your application one last good checkObtain internal approvalsIf using ASSIST, update application status
from Work In Progress to Ready for Submission
54
Submit
SUBMITTING YOUR APPLICATIONON-TIME SUBMISSION
55
TrackFind Plan Initiate Build Team
Enter Data Finalize Submit
Submitting an Application
All NIH Applications Route Through Grants.gov regardless of submission option
Only AOR’s can submitYour Grants.gov timestamp
is used to determine “on-time” submission
56
Date/Time Stamp - due 5 p.m. local time of the applicant organization on deadline date even though timestamp recorded in Eastern Time
On-time SubmissionError-free applications must be accepted by Grants.gov with a time stamp on or before 5:00 p.m. local time of the submitting organization on the due date.
Important reminders:NIH recommends submitting
early (days, not minutes!) to allow time for correcting any errors found during the application viewing window prior to the due date
NIH’s late policy does not allow corrections after the due date/time
All registrations must be completed before the due date/time
57
You’re Not Finished Yet…58
Application Successfully submitted to NIH
Submitting to Grants.gov is NOT the last step in the process!
Track
NOTIFICATIONSTRACKING YOUR APPLICATION IN ERA COMMONS
VIEWING YOUR APPLICATION IN COMMONSREJECTING AN APPLICATION
SUBMISSION COMPLETE – HAPPY DANCE!
59
Find Plan Initiate Build Team
Enter Data Finalize Submit Track
Grants.gov Notifications
AOR receives Grants.gov e-mails Submission Receipt
Grants.gov e-mail verifying receipt of application Submission Validation
Grants.gov e-mail verifying successful submission to
Grants.gov OR rejection due to errors
Transmission to Agency E-mail sent once agency retrieves submission E-mail sent when agency tracking number assigned
Sent to email address on file for submitting AOR
60
http://grants.nih.gov/grants/ElectronicReceipt/email_notifications.htm#grants
Track Status in Commons
eRA Commons Status is an integral part of electronic application submission
Applications that pass Grants.gov validations are picked up by eRA Commons and checked against application guide and opportunity instructions
Processing result available in eRA Commons Status to: Signing Officials (SOs) Administrative Officials (AOs) Principal Investigators (PIs) Delegated assistants
E-mail notifications sent
61
eRA Commons Notifications
eRA e-mails Check assembled application Check assembled application – Warnings only ACTION REQUIRED – Errors and/or Warnings ACTION REQUIRED– Missing or invalid eRA Commons
Username (only sent to AOR/SO) ACTION REQUIRED– System Error SO has refused electronic application (rejected) NIH has auto-verified the application (after 2-day viewing
window)
Sent to the AOR/SO, PD/PI and contact e-mails listed on SF424 (R&R) form
62
http://grants.nih.gov/grants/ElectronicReceipt/email_notifications.htm#grants
Email is Unreliable
Many email notifications are sent throughout the process
DO NOT depend solely on email notifications, it is YOUR responsibility to proactively check your application status in eRA Commons
63
eRA Commons Login64
eRA Commons: https://public.era.nih.gov/commons
Track Application – Commons Status65
Select Recent/Pending eSubmissions
Or provide Grants.gov tracking number from confirmation screen or email notification
Track Application - Commons66
Indicates eSubmission Error
Grants.gov tracking #
Corrective submissions must be made BEFORE the submission deadline and overwrite previous submissions.
Errors stop application processing and must be corrected
Warnings do not stop application processing and are corrected at the discretion of the applicant
67
Correcting Errors Found After Submission
To correct system-identified errors found after submission:Make corrections to local copy of the applicationUpdate SF424 (R&R) form
Check “Changed/Corrected” as “Type of Submission” Enter “Previous Grants.gov Tracking ID” (e.g.,
GRANT12345678) in field 4cSubmit the entire Changed/Corrected application
back through Grants.gov before the deadline Track submission through to eRA Commons
68
NOTE: Reviewers do not see applicant errors/warnings.
View Application Image
Once an error-free application is received by NIH, the eRA system will:
Assemble the grant application image Insert headers (PI name) and footers (page numbers)
on all pages Generate Table of Contents and bookmark important
sections Post the assembled application image in the PD/PI’s
eRA Commons account Send notifications
69
Application Viewing Window
Applicants have two (2) business days to view the assembled application image before the application automatically moves forward for further processing
SO can Reject application within viewing window and submit a Changed/Corrected application before the submission deadline
70
If you can’t VIEW it, we can’t REVIEW it!
eRA Commons Status (PI View)71
Status is Pending Verification
Follow e-Application link to view assembled application image
Application ID links to detailed status info
View Appendices and Cover Letter
View Application Image72
TIP: Carefully review the entire application.This is your chance to view/print the same
application image that will be used by Reviewers!
Reject eApplication73
Must have SO role
Select Recent/ Pending eSubmissions
Click Search
Enter Search Criteria
PIs: If the application image in the eRA Commons does not properly reflect the submitted material, work with your SO to reject the application!
Reject eApplication Request74
Enter comment to be sent with e-mail notification
Submission Complete!
If no action is taken during the two business day viewing window, the application automatically moves forward for further processing at NIH
Any subsequent application changes are subject to the NIH policy on late submission of grant applications and the NIH policy on post-submission application materials
75
Finding Help & Resources
SERVICE DESKSON-LINE RESOURCES &WEB SITES
76
eRA Commons Service Desk
Grants.gov Contact Center
Service Desks
Web: http://grants.nih.gov/support/index.html
Phone: 1-866-504-9552
Hours : Mon-Fri, 7a.m. to 8 p.m. ET
Toll-free: 1-800-518-4726
Hours : 24x7 (Except Federal Holidays)
Email : [email protected]
Help Resources: http://www.grants.gov/web/grants/support.html
77
• ASSIST • eRA Commons
• eRA Commons Registration
• eRA warnings & errors
• Status of application • Post-award administration
Contact for assistance with:
Websites
eRA Commons: https://commons.era.nih.gov/commons/
Electronic Research Administration: http://era.nih.gov/
Applying Electronically: http://grants.nih.gov/grants/ElectronicReceipt/
NIH About Grants: http://grants.nih.gov/grants/oer.htm
78
Stay Connected – Subscribe to Listservs
eRA-Information-L For administrators, principal investigators and the people
that support them Used by NIH to notify the community of information related
to eRA Commons, ASSIST and eSubmission
NIH_ESUB_SYS2SYS-L For technical personnel involved in system-to-system
solution development and planning Used to exchange information related to the
implementation of system-to-system solutions for grant application preparation and submission to NIH
79
Live ASSIST Demo
INITIATE APPLICATIONMANAGE ACCESS
FORM NAVIGATION & DATA ENTRYPRE-SUBMISSION VALIDATION
PRE-SUBMISSION PREVIEWTRACKING SUBMISSION STATUS
80
Slides are for notes only & will be covered during demo.
Apply Online Using ASSIST Button
Excerpt from single-project FOA in NIH Guide…81
Initiate Application82
Initiate Screen83
FOA information pulled from Grants.gov
Enter Project Title
Drop-down list of organizations
affiliated with your eRA Commons
account
Initiate: Pre-population84
Data pre-populated from
organization selectionCan manually enter
PD/PI information or provide
eRA Commons username to auto-
populate
Searching for In-progress Applications85
Use Search Applications to access your in progress application
Working with ASSIST86
ASSIST messages
Screen tips
Access online help
Available actions vary based on application context and access
Form navigation
Automatic Application Access
ASSIST automatically provides application access to some individuals based on their Commons roles or role on the application
Examples: Users with Commons accounts that have the Signing
Official (SO) or Administrative Official (AO) role have access to all applications for their organization
All PD/PIs listed in the Overall component of the application have edit access for the entire application
87
Manage Access
Application access can be given to additional users with Commons IDs
Application access can be controlled across these variables: Read vs. Edit
Budget vs. Non-budget data
Entire application vs. specific components (multi-project)
88
ASSIST: Signing Officials (SOs)
SOs at the applicant institution can Manage application access for other users
Manage application status
Delegate Access Maintainer and Status Maintainer authorityto other users within their institution
Access the Submit action
89
Providing Application Access to a User90
Data Entry
91
Click each tab to access form data entry screens
Clicking Edit blocks other users from
editing form
Adding Optional Forms92
Select form and click Submit
The form tab is
added to navigation
Validate Application93
Errors and Warnings
are displayed
Generating Application Preview94
View last preview
Generate new
preview
ASSIST: Submit Application 95
Submit Application button is only active for SOs
Must be an eRA SO and a Grants.gov AOR to submit.
View Submission Status Details96
Click View Submission Status Details
96
Tracking Submission Status97
Happy path…
• ASSIST = Submitted
• Grants.gov = Agency Tracking Number Assigned
• Agency = Processed
Agency Tracking # link brings you to the detailed status screen
in eRA Commons
Viewing Your Application in Commons 98
eApplication is the application image reviewers will use so check it carefully.
Also check the Cover Letter and Appendices which are stored separate from the image.
Live Downloadable Forms Demo
GRANTS.GOV DOWNLOADABLE FORMSAVOIDING COMMON ERRORS
99
Slides are for notes only & will be covered during demo.
Apply Using Downloadable Forms Button
Excerpt from single-project FOA in NIH Guide…100
Grants.gov Application Package Screens
101
Sign up for email alerts of application package changes
Use links to download application instructions and forms package
Working with Grants.gov’s Downloadable Forms102
Make sure you have the correct application package.
FOA information is automatically populated and not editable.
Mandatory Grants.gov fields highlighted with red box.Not all fields required by NIH will be highlighted.
*Application Form Screen - Top*
Working with Grants.gov’s Downloadable Forms103*Application Form Screen - Bottom*
Complete the SF 424 (R&R) form first—info from this form pre-populates fields in other forms in the package
See application guide to determine which Optional forms you need to complete
Save the package locally
Grants.gov: Submit Application104
Check Package for Errors button only checks to make sure the application meets Grants.gov requirements. Agency requirements checked upon submission.
Save & Submit button will not become active until application is saved and mandatory information is completed.
Must be AOR
Submit Application – Grants.gov Confirmation105
Grants.gov Tracking #
Date/Time Stamp - due 5 p.m. local time of the applicant organization on deadline date
Print/save your confirmation screen info.
Avoiding Common Errors106
Slides are for notes only & will be covered during demo.
Avoid Common Errors – SF424 RR DUNS
DUNS number on the SF424 (R&R) cover form must match the DUNS number used for Grants.gov & Commons registrations
107
Avoid Common Errors – Sites DUNS
Primary site DUNS is required by NIH and is enforced with an agency validation
108
Avoid Common Errors – Fields 1, 4 & 8
Provide correct Type of Submission (#1), Federal Identifier (#4), and Type of Application (#8) information on the SF 424 (R&R) cover form
109
• Use Application for first submission attempt for the same deadline
• Use Changed/Corrected when submitting again to correct eRA-identified errors/warnings
If Changed/Corrected in field #1, then enter previous Grants.gov tracking number
110
Fed ID & Type of ApplicationFederal ID & Types of Applicationis
If Resubmission/Renewal/Revision in field #8, use Institute and serial #of previous NIH grant/app (e.g., useCA987654 from 1R01CA987654-01)
See Application Guide for definition of application types
Terminology Check
Type of Application on SF424 (R&R), field #8
111
Term Notes
New An application that is submitted for funding for the first time and includes no references to a prior review. (Type 1; A0)
Renewal Competing for additional years of funding to continue original project. (Type 2)
Revision Request for additional funds for a current award to expand the scope of work. Applicants should contact the awarding agency for advice on submitting any revision/supplement application. (Type 3)
Resubmission Application previously reviewed. A revised or amended application that addresses reviewer feedback. (A1)
Continuation NIH does not use the SF 424 (R&R) for Continuation applications. (Type 5; progress reports for simplified non-competing (SNAP) applications are submitted directly to eRA Commons; for others, paper apps. are still submitted.)
Avoid Common Errors
Include the eRA Commons ID in the Credential field of the R&R Sr/Key Person Profile form for all PD/PIs Also needed for:
Sponsor on a Fellowship application (NOT-OD-14-129) Component leads of multi-project applications Candidates for diversity supplement support
If submitting a Multiple-PD/PI application, give all PIs the PD/PI role on the Sr/Key Person Profile form
112
113
Credential Field
Enter PI Commons Username
eRA Commons username must be
supplied in the Credential field
For multiple PD/PI applications, select the PD/PI role for each PI and provide their eRA
Commons username in the Credential field
Enter PI Commons UsernameSelect PD/PI role for each PI
Avoid Common Errors – Organization Name
Include Organization name for all Sr/Key listed on the R&R Sr/Key Person Profile (Expanded) form
114
Organization Name
PD/PI Organization will auto-populate from SF424 (R&R) cover if available.
NIH requires the Organization name for all Sr/Key listed.
Enter Organization Name
Avoiding Common Errors - Biosketch
Include a biosketch for every Sr/Key entry in correct format
115
Biosketch required for all, but only marked required on the federal-wide form for the PD/PI.
Avoid Common Errors - Effort
Include effort > 0 for all Sr/Key personnel listed on the R&R Budget form
Use either calendar months or a combination of academic and summer months
PD/PI must have effort >0 for every budget period
116
Grantee and Organizational Changes
SUBMITTING A CHANGE OF GRANTEE OR TRAINING INSTITUTION REQUEST (TYPE 7) USING
GRANTS.GOV
SUBMITTING A CHANGE OF ORGANIZATION STATUS/SUCCESSOR IN INTEREST
(TYPE 6) REQUEST USING GRANTS.GOV
SUBMITTING AN ADMINISTRATIVE SUPPLEMENT REQUEST USING GRANTS.GOV
117
Change of Grantee (Type 7) Requests
Also known as Change of Institution or transfer.
Request for support of a funded project that has been transferred from one grantee or training institution to another
Current submission options: Grants.gov downloadable forms Institutional system-to-system
solutions
118
Change of Organization Status (Type 6) Request
Formerly known as Successor-In-Interest.
Request for support of a funded project at an institution where the legal status has been changed
Current submission options: Grants.gov downloadable forms Institutional system-to-system
solutions
119
Type 6/7 Requests – Grants.gov
Available for post-award requests for single-project activity codes for which competing applications are submitted through Grants.gov
Though not yet required, applicants are encouraged to use and become familiar with the electronic option
Talk to your awarding Institute prior to submission
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Type 6/7 Requests – Grants.gov
Parent Announcement page has general use FOAs http://
grants.nih.gov/grants/guide/parent_announcements.htm#post
When completing package… Follow all FOA-specific instructions Carefully choose appropriate application package Use Revision as the Application Type (SF424 RR, item
#8) Include IC and Serial number of awarded grant as the
Federal Identifier (SF424 RR, item #4a)
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Type 6/7 Requests – Grants.gov
Similar to competing application process, except:
Many of the NIH business rule validations for competing applications are not enforced
Required forms may vary from competing applications Modular budget forms not an option; must use detailed
R&R Budget forms No cover letters Type 6
Only a few required forms• SF424 (R&R) cover, Other Project Information, SR/Key
Information Optional forms vary by program
Type 7 Budget forms added to some form packages (e.g., DP1,
DP2, DP3)
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Type 6/7 Requests – Grants.gov
After the two-day viewing window, the request bypasses Receipt & Referral and goes directly to Grants Management staff for consideration Requests move to List of Applications for PIs and General
Search (for SOs) like competing applications
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Grantee & Org. Changes – Policy Notices
NOT-OD-12-132 Notice of Pilot Processes for Submitting of Post-Award
Relinquishing Statements to NIHNOT-OD-12-133
Notice of Pilot for Processing Post-Award Changes in Grantee Organizational Status: Successor-in-Interest
NOT-OD-12-134 Notice of Pilot Processes for Post-Award Change of
Grantee Organization Applications to NIH
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Administrative Supplements
A request for additional funds during a current project period to provide for an increase in costs due to unforeseen circumstances.
Requested additional costs must be within the scope of the peer reviewed and approved project
Current submission options: Grants.gov downloadable forms1
Streamlined eRA Commons process1
Commons pre-populates much of the data needed for request from awarded grant
Institutional system-to-system solutions1
Paper process
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1Available for single-project activity codes for which competing applications are submitted through Grants.gov.
Admin. Supplement Requests– Grants.gov
Parent Announcement page has general use FOAs http://
grants.nih.gov/grants/guide/parent_announcements.htm#adminsupp
NIH Institutes can also post FOAs for administrative supplements targeting specific programs
When completing package… Follow all FOA-specific instructions Carefully choose appropriate application package Use Revision as the Application Type (SF424 RR, item
#8) Include IC and Serial number of awarded grant as the
Federal Identifier (SF424 RR, item #4a)
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Admin. Supplement Requests– Grants.gov
Similar submission process as competing applications, except: Many of the NIH business rule validations for
competing applications are not enforced Required forms may vary from competing applications
for the same activity code Modular budget forms not an option; must use detailed
R&R Budget forms No cover letters
After the two-day viewing window the request bypasses Receipt & Referral and goes directly to Grants Management staff for consideration Move to Admin Supp Status tab in Commons
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Admin. Supplement – Policy Notices
NOT-OD-12-043 New Electronic Submission Process Now Available for
Administrative Supplement Requests
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Reference Letters
REFERENCE LETTERS
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Reference LettersSome NIH grant programs require the submission of reference letters in addition to the grant application (e.g., Fellowship & Mentored Career Development programs)
NOT part of the application through Grants.gov
Submitted directly by the referee through eRA Commons
Commons registration not requiredCan be submitted in advance of
application submissionDue by the application due date/timeApplicants can track the submission
of reference letters in the Commons, but cannot view the actual letter
With FORMS-C, Fellowship reference letters no longer have a required format – just a letter
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FAQs: http://grants.nih.gov/grants/ElectronicReceipt/faq_full.htm#12
Reference Letters131
Program-Specific Considerations
FELLOWSHIPCAREER DEVELOPMENT
TRAININGMULTI-PROJECT APPLICATIONS
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Fellowship Applications
Program-specific considerations
Use Fellowship-specific Application Guide
Designate Sponsor on the R&R Sr/Key Person Profile form Select Role of “Other”, then indicate
“Sponsor” in Other Role category Include eRA Commons username in
Credential fieldCover Letter is required
Include list of referees that will submit reference letters through Commons
Complete PHS Fellowship Supplemental Form
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Fellowship – Policy Notices
Notice to Emphasize the Requirement for Additional Educational Information NOT-OD-14-135 (Parent F31 – Diversity) NOT-OD-14-134 (Parent F31) NOT-OD-14-133 (F30)
Notice to Discontinue Requirement for Additional Educational Information NOT-OD-14-137 (Parent F32)
Sponsor eRA Commons Username Requirement NOT-OD-14-129
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Research Career Development Award Program Applications
(Ks, except K12 and KM1)
Program-specific considerations
PHS Cover Letter form is required for mentored Ks (K01, K07, K08, K18, K22, K23, K25, K99) Include list of referees that will
submit reference letters through eRA Commons
Complete PHS 398 Career Development Award Supplemental form
135
136
PHS 398 Career Development Supplemental
Form
Combined page limit
Career Development – Policy Notices
NOT-OD-14-088 Notice of Clarification of Career (K) Award Eligibility
Clarification related to Foreign Components
NOT-OD-15-013 Notice of Clarification of 4-Year Limit of Postdoctoral
Research Eligibility for K99
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Training and Institutional Career Development Program Applications
(Ts, Ds, K12 & KM1)
Program-specific considerations
Budget form used varies by FOA Training Budget Only
T15, T32, T34, T35, T36 R&R Budget Only
K12, T37, KM1 D71, D43, U2R Dual budgets
T01, T02, T03, T14, T42, T90, TU2
Complete PHS 398 Research Training Program Plan
Data Tables – user defined bookmarks included in the attachment will be pulled into application image
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139
PHS 398 Research Training Program Plan
Combined page limit
Faculty Biosketches
Data Tables
Multi-project Applications
Single grant application submission with multiple, interrelated components with defined work, personnel, sites and budgets that share a common focus or objective.
All electronic multi-project applications include:
A single Overall component Some number of additional
components Automatically prepared data
summaries
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Multi-Project Application: Overall Component
141
Core-001
Project Title: Research Core 1Project Lead: Ben A. RoundOrganization: A
Core-002
Project Title: Research Core 2Project Lead: Abel Tu LeadOrganization: B
Project-003
Project Title: Fabulous Research Focus 3Project Lead: Ima DoerOrganization: C
Project-002
Project Title: Fabulous Research Focus 2Project Lead: Quin T. SentialOrganization: B
Project-001
Project Title: Fabulous Research Focus 1Project Lead: Cher D. MoneyOrganization: A
Subaward Budget
Organization: D
Component Type: ProjectComponent Type: Core
Admin Core-001
Project Title: Administrative CoreProject Lead: Jed I. KnightOrganization: A
Component Type: Admin Core
Overall Component
PD/PIs: Cher D. Money, Ben A. RoundOrganization: AProject Title: Research Center to Cure the Diseases of the World
• Single Overall component• Provides an overview of the entire
application
Examples:P01, P20, P50
Multi-Project Application: Component Types
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Core-001
Project Title: Research CoreProject Lead: Ben A. RoundOrganization: A
Core-002
Project Title: Research Core 2Project Lead: Abel Tu LeadOrganization: B
Project-003
Project Title: Fabulous Research Focus 3Project Lead: Ima DoerOrganization: C
Project-002
Project Title: Fabulous Research Focus 2Project Lead: Quin T. SentialOrganization: B
Project-001
Project Title: Fabulous Research Focus 1Project Lead: Cher D. MoneyOrganization: A
Subaward Budget
Organization: D
Component Type: ProjectComponent Type: Core
Admin Core-001
Project Title: Administrative CoreProject Lead: Jed I. KnightOrganization: A
Component Type: Admin Core
Overall Component
PD/PIs: Cher D. Money, Ben A. RoundOrganization: AProject Title: Research Center to Cure the Diseases of the World
Some number of additional component types• Component types allowed will vary by
opportunity• Funding Opportunity Announcements (FOAs)
will clearly indicate the types of components expected in a responsive application
Multi-Project Application: Components
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Core-001
Project Title: Research CoreProject Lead: Ben A. RoundOrganization: A
Core-002
Project Title: Research Core 2Project Lead: Abel Tu LeadOrganization: B
Project-003
Project Title: Fabulous Research Focus 3Project Lead: Ima DoerOrganization: C
Project-002
Project Title: Fabulous Research Focus 2Project Lead: Quin T. SentialOrganization: B
Project-001
Project Title: Fabulous Research Focus 1Project Lead: Cher D. MoneyOrganization: A
Subaward Budget
Organization: D
Component Type: ProjectComponent Type: Core
Admin Core-001
Project Title: Administrative CoreProject Lead: Jed I. KnightOrganization: A
Component Type: Admin Core
Overall Component
PD/PIs: Cher D. Money, Ben A. RoundOrganization: AProject Title: Research Center to Cure the Diseases of the World
Some number of components within a component type• Announcements will clearly
indicate the required minimum and/or maximum number of components expected
Subaward Budget
Organization: B
Multi-project Application Forms
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Core-001
Project Title: Research CoreProject Lead: Ben A. RoundOrganization: A
Core-002
Project Title: Research Core 2Project Lead: Abel Tu LeadOrganization: B
Project-003
Project Title: Fabulous Research Focus 3Project Lead: Ima DoerOrganization: C
Project-002
Project Title: Fabulous Research Focus 2Project Lead: Quin T. SentialOrganization: B
Project-001
Project Title: Fabulous Research Focus 1Project Lead: Cher D. MoneyOrganization: A
Subaward Budget
Organization: D
Component Type: ProjectComponent Type: Core
Admin Core-001
Project Title: Administrative CoreProject Lead: Jed I. KnightOrganization: A
Component Type: Admin Core
Overall Component
PD/PIs: Cher D. Money, Ben A. RoundOrganization: AProject Title: Research Center to Cure the Diseases of the World
“Optional” FormsPHS Additional Indirect Costs
Required FormsSF424 (R&R)Project/Performance SitesR&R Other Project InfoR&R Senior/Key PersonsPHS 398 Cover Page SupplementPHS 398 Research Plan
“Optional” FormsR&R Subaward BudgetPlanned Enrollment ReportCumulative Inclusion Enrollment
Required FormsSF424 (R&R)Project/Performance SitesR&R Other Project InfoR&R Senior/Key PersonsPHS 398 Cover Page SupplementPHS 398 Research PlanR&R Budget
Multi-project Application Assembly
Understand how your application image will be assembled by NIH for funding consideration
The Overall component is presented first Including system-generated data summaries
Additional component types are presented in alphabetical order (e.g., Cores before Projects) Components of the same type are grouped together Components are identified by type and sequential
number (e.g., Core-001, Core-002)
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Check out this resource: http://grants.nih.gov/grants/ElectronicReceipt/files/multi-project_application_image.pdf
Check Out This Seminar Session
Friday, Oct. 162:00-3:15
146
Submission Policies
SYSTEM ISSUESDUE DATES ON HOLIDAYS & WEEKENDS
LATE POLICYPOST-SUBMISSION APPLICATION
MATERIALSCONTINUOUS SUBMISSION
RULES FOR RESUBMISSIONSEVALUATION OF OVERLAPPING
APPLICATIONSAPPENDIX POLICY & “OVERSTUFFED”
APPLICATIONS
147
Watch for Policy Updates148
Keep an eye on the NIH Guide for Grants and Contracts for policy and process updates.
Subscribe for weekly e-mails of new postings: http://grants.nih.gov/grants/guide/listserv.htm
System Issues
When Grants.gov or eRA system issues threaten your on-time submission…
Contact appropriate support team to try to get resolution If working with Grants.gov, contact eRA Service Desk to
document issue and steps taken toward resolution If eRA Service Desk confirms a system issue, your
application will not be considered late as long as you work diligently with the Service Desk to resolve problems as quickly as possible
149
NIH Guide Notice: NOT-OD-13-054http://grants.nih.gov/grants/guide/notice-files/NOT-OD-13-054.html
Due Dates on Holidays & Weekends
When a submission due date falls on a weekend or Federal holiday, the application deadline is automatically extended to the next business day.
150
Late Applications
Two-week window of consideration See notice for exceptions
Permission is not granted in advanceLate applications are accepted only in
extenuating circumstancesCover letter requiredEvaluated on a case-by-case basis
151
NIH Guide Notice: NOT-OD-15-039http://grants.nih.gov/grants/guide/notice-files/NOT-OD-15-039.html
Post-submission Application Materials
NIH will only accept post-submission grant application materials resulting from unforeseen administrative issues for most applications
See Guide Notice for details on acceptable and unacceptable material, exceptions, and page limits
When exceptions do apply, materials must be received at least 30 days prior to the peer review meeting and must be sent by (or with the explicit concurrence of) the AOR
152
NIH Guide Notice: NOT-OD-13-030http://grants.nih.gov/grants/guide/notice-files/NOT-OD-13-030.html
Continuous Submission
Alternative submission policy for PD/PIs serving as appointed members of NIH chartered standing study sections, NIH Boards of Scientific Counselors, NIH Advisory Boards or Councils, NIH Program Advisory Committees, and/or peer reviewers who have served as regular or temporary members six times in 18 months
Applies to R01, R21, and R34 applications that would normally be received on standard application submission dates (not special receipt dates)
153
Continuous Submission page:http://grants.nih.gov/grants/peer/continuous_submission.htm
Rules for Resubmissions
NIH allows a single Resubmission (A1)
Applicants must submit Resubmission applications (A1) within thirty-seven (37) months of the initial New, Renewal, or Revision application due date
154
NIH Guide Notice: NOT-OD-10-080http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-080.html
NIH Guide Notice: NOT-OD-12-128http://grants.nih.gov/grants/guide/notice-files/NOT-OD-12-128.html
Rules for Resubmissions (cont.)
Following an unsuccessful resubmission (A1) application, applicants may submit the same idea as a new (A0) application for the next appropriate new application due date
155
NIH Guide Notice: NOT-OD-14-074http://grants.nih.gov/grants/guide/notice-files/NOT-OD-14-074.html
NIH Policy on Resubmission Applications page:http://grants.nih.gov/grants/policy/amendedapps.htm
Evaluation of Overlapping Applications
While NIH no longer limits the number of times you can submit an application with essentially the same content and scope as an earlier unsuccessful application, it is not allowable to have overlapping applications under review at the same time.
156
NIH Guide Notice: NOT-OD-14-074http://grants.nih.gov/grants/guide/notice-files/NOT-OD-14-074.html
Appendix Policy & “Overstuffed” Applications
Applicants must follow application guide and announcement instructions regarding appropriate appendix materials
Applicants should not use the Appendix section to circumvent page limits In particularly egregious cases NIH has the authority to
withdraw the application from review or consideration for funding
157
Don’t Overstuff: NOT-OD-11-080http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-080.html
Full Appendix Policy: NOT-OD-07-018
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-018.html
New Biosketch Format
Page limit extended from 4 to 5 pagesUp to 5 significant contributions to science
Up to 4 relevant peer-reviewed publications or non-publication research products
Option to include link to full list of published work
Required for due dates on/after May 25, 2015
158
NIH Guide Notice: NOT-OD-15-032http://grants.nih.gov/grants/guide/notice-files/NOT-OD-15-032
159
Questions?